Securities and Exchange Commission 2005 – Federal Register Recent Federal Regulation Documents

Results 501 - 550 of 1,775
Joint Industry Plan; Order Approving Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a “Trade and Ship” Exception to the Definition of “Trade-Through” and a “Book and Ship” Exception to the Locked Markets Provision
Document Number: 05-18620
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18620.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange's Transaction Fees and Tape a Revenue Sharing Program for Electronically Routed Cross Trades
Document Number: 05-18619
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18619.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules
Document Number: 05-18618
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18618.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules
Document Number: 05-18617
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18617.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules
Document Number: 05-18616
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18616.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to a Proposal To Transfer a Portion of Its Ownership Interest in Boston Options Exchange Facility
Document Number: 05-18615
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18615.html
Applied Materials, Inc.; Notice of Application
Document Number: 05-18614
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18614.html
Submission for OMB Review; Comment Request
Document Number: 05-18613
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18613.html
Peter Kiewit Sons', Inc. and Kiewit Investment Fund LLLP; Notice of Application
Document Number: 05-18612
Type: Notice
Date: 2005-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18612.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-5093
Type: Notice
Date: 2005-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/19/E5-5093.html
Sunshine Act Meeting
Document Number: 05-18665
Type: Notice
Date: 2005-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/19/05-18665.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Establish a Process for the Waiver, Deferral, or Rebate of Listing Fees for Certain Closed-End Funds
Document Number: 05-18550
Type: Notice
Date: 2005-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/19/05-18550.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 Thereto Relating to Proposed Uniform Definition of “Branch Office” Under NASD Rule 3010(g)(2)
Document Number: E5-5034
Type: Notice
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5034.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change Relating to the Amendment of Rule 342 (Offices-Approval, Supervision and Control) To Provide for a Uniform Definition of “Branch Office”
Document Number: E5-5033
Type: Notice
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5033.html
Joint Industry Plan; Notice of Filing of Joint Amendment No. 16 to the Intermarket Option Linkage Plan Relating to the Definition of Firm Customer Quote Size and Restrictions on Sending Certain Principal Acting as Agent Orders
Document Number: 05-18410
Type: Notice
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18410.html
Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
Document Number: 05-18384
Type: Rule
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is extending the compliance date for the rule that identifies circumstances under which a broker-dealer's advice is not ``solely incidental to'' its brokerage business or to brokerage services provided to certain accounts and thus subjects the broker-dealer to the Investment Advisers Act of 1940.
https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18384.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Scope and Update the Description of the Security Position Reports Service
Document Number: E5-5028
Type: Notice
Date: 2005-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5028.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rule 8.4 Relating to Remote Market-Maker Appointments
Document Number: E5-5027
Type: Notice
Date: 2005-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5027.html
Tuxis Corporation; Notice of Application
Document Number: E5-5026
Type: Notice
Date: 2005-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5026.html
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of “Broker” Under Section 3(a)(4) of the Securities Exchange Act of 1934
Document Number: E5-5025
Type: Notice
Date: 2005-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5025.html
Marshall Funds, Inc., et al.; Notice of Application
Document Number: 05-18311
Type: Notice
Date: 2005-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/15/05-18311.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-5013
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5013.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Deletion of Superseded Corporate Governance Standards (Sections 303.00, 303.01, and 303.02 of the Listed Company Manual)
Document Number: E5-5012
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5012.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obligations of Lead Market Makers
Document Number: E5-5011
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5011.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Automated Customer Account Transfer Service Rules and Procedures
Document Number: E5-5010
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5010.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Interpretation of the Definition of “Insurance Company” Under Its Rules and Procedures
Document Number: E5-5009
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5009.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Interpretation of NYSE Rule 311 (“Formation and Approval of Member Organizations”) Codifying Certain Qualification Requirements for Criteria for Dual- or Multi-Designation of Principal Executive Officers
Document Number: E5-5008
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5008.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 352 Concerning Guarantees and Sharing in Accounts
Document Number: E5-5007
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5007.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Requiring Its Participants To Provide Electronic Mail Addresses to the Exchange
Document Number: E5-5006
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5006.html
Eaton Vance Senior Income Trust, et al.; Notice of Application
Document Number: E5-5005
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5005.html
Issuer Delisting; Notice of Application of N.V. Koninklijke Nederlandsche Petroleum Maatschappij (English Translation, Royal Dutch Petroleum Company) To Withdraw Its Ordinary Shares, Par Value 0.56 Euro, From Listing and Registration on the New York Stock Exchange, Inc.
Document Number: E5-5004
Type: Notice
Date: 2005-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5004.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings
Document Number: E5-4980
Type: Notice
Date: 2005-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4980.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Allow Members To Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center
Document Number: E5-4979
Type: Notice
Date: 2005-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4979.html
Submission for OMB Review; Comment Request
Document Number: E5-4978
Type: Notice
Date: 2005-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4978.html
Submission for OMB Review; Comment Request
Document Number: E5-4977
Type: Notice
Date: 2005-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4977.html
Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Customer Margin Requirements for Security Futures
Document Number: E5-4949
Type: Notice
Date: 2005-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4949.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Assignment of Securities to Specialists
Document Number: E5-4948
Type: Notice
Date: 2005-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4948.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Pilot Program on Dividend Spread and Merger Spread Fee Caps Until March 1, 2006
Document Number: 05-18005
Type: Notice
Date: 2005-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/12/05-18005.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Modify Rate Schedule Retroactively To January 1, 2002 To Cap the Fees on Multiple Options Issues Transfers
Document Number: E5-4928
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4928.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Create an Enterprise License Fee for the TotalView Entitlement
Document Number: E5-4927
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4927.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Allow Members To Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center
Document Number: E5-4926
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4926.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Program Applicable to Option Strategy Executions until March 1, 2006
Document Number: E5-4921
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4921.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Automating the Execution of Elected Stop Orders and CAP-DI Orders and Converted CAP-DI Orders
Document Number: E5-4920
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4920.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Market Order Auction
Document Number: E5-4919
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4919.html
Sunshine Act Meeting
Document Number: 05-17996
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17996.html
Order of Suspension of Trading
Document Number: 05-17991
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17991.html
Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis
Document Number: 05-17954
Type: Notice
Date: 2005-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17954.html
Fifth Third Funds, et al.; Notice of Application
Document Number: E5-4886
Type: Notice
Date: 2005-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4886.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Pilot Programs Applicable to Fee Caps for Dividend Spread and Merger Spread Transactions Until March 1, 2006
Document Number: E5-4885
Type: Notice
Date: 2005-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4885.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Approval of Proposed Rule Changes Relating to Direct Communication Between Parties and Arbitrators
Document Number: E5-4876
Type: Notice
Date: 2005-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4876.html
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